SIE考試題庫，SIE熱門考古題

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SIE考試題庫：Securities Industry Essentials Exam (SIE)幫助您壹次通過考試，FINRA SIE熱門考古題

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FINRA SIE 考試大綱：

主題	簡介
主題 1	Understanding Products and Their Risks: This section of the exam measures the skills of Investment Analysts and examines different financial products and associated risks. Candidates must understand equity securities, including common stock, as well as debt instruments such as Treasury securities and mortgage-backed securities.
主題 2	Market Structure: This section of the exam measures the skills of Equity Market Specialists and covers the classification of financial markets, including the primary, secondary, third, and fourth markets. Candidates must demonstrate knowledge of electronic trading, over-the-counter (OTC) markets, and physical exchanges. One specific skill tested is differentiating between various market types and their operational mechanisms.
主題 3	Regulatory Entities, Agencies, and Market Participants: This section of the exam measures the skills of Financial Regulatory Analysts and covers the structure, authority, and jurisdiction of key regulatory bodies overseeing financial markets. The SEC's role in enforcing securities regulations is assessed, along with the authority of self-regulatory organizations such as FINRA and MSRB. Candidates must also understand the functions of other financial regulators, including the Department of the Treasury and state regulatory agencies. One key skill evaluated is identifying the jurisdictional scope of different financial regulators.
主題 4	Overview of the Regulatory Framework: This section of the exam measures the skills of Compliance Officers and evaluates knowledge of self-regulatory organization (SRO) requirements, including registration and continuing education for associated persons. Candidates must understand the distinction between registered and non-registered individuals and the requirements for maintaining industry qualifications.

最新的 General Securities Representative SIE 免費考試真題 (Q97-Q102):

問題 #97
A broker-dealer (BD) is underwriting an initial public offering (IPO). According to industry rules, which of the following customers is eligible to participate in the IPO?

A. The BD's branch office manager's unemployed spouse
B. The chief financial officer of a fast-food chain, whose brother is a registered representative employed by the BD
C. An unregistered sales assistant employed by the BD
D. A customer of the BD who is the president of a local bank

答案：D

解題說明：
FINRA Rule 5130 restricts participation in IPOs for certain individuals (e.g., restricted persons) to prevent potential conflicts of interest. Restricted persons include employees of broker-dealers and their immediate family members.
* C is correct because the president of a local bank is not considered a restricted person under FINRA Rule 5130.
* A is incorrect because employees (registered or not) of broker-dealers are restricted.
* B is incorrect because immediate family members of broker-dealer employees are restricted, even if unemployed.
* D is incorrect because the immediate family of a registered representative is restricted.
Reference: FINRA Rule 5130 (Restrictions on the Purchase and Sale of IPOs)

問題 #98
Which of the following activities is a responsibility of a mutual fund transfer agent?

A. Underwriting new shares of securities
B. Distributing the fund's prospectus to investors
C. Maintaining custody of the fund's securities
D. Maintaining records of shareholder purchases and redemptions

答案：D

解題說明：
A transfer agent is responsible for maintaining accurate records of shareholder purchases, redemptions, and account balances. They also handle the issuance and cancellation of shares and ensure shareholders receive appropriate distributions.
* D is correct because maintaining shareholder records is a core duty of a transfer agent.
* A is incorrect because underwriting is the responsibility of a broker-dealer.
* B is incorrect because distributing the prospectus is handled by the fund's distributor.
* C is incorrect because custody of securities is the role of a custodian, not the transfer agent.
Reference: SIE Study Guide, Chapter 5: Investment Companies

問題 #99
The provision that allows a bond issuer to purchase bonds from customers prior to the maturity date on the bond is known as a:

A. Put
B. Conversion
C. Call
D. Defeasement

答案：C

解題說明：
Step by Step Explanation:
* Call Provision: This allows the issuer to redeem bonds before their maturity date, usually at a premium to the par value, which benefits the issuer in a declining interest rate environment.
* Put Provision: Allows bondholders, not issuers, to sell the bond back to the issuer.
* Conversion: Relates to convertible bonds that can be converted into equity.
* Defeasement: Refers to the removal of a bond issuer's obligation by setting aside cash or securities to cover the debt.
References:
* SEC Guide on Callable Bonds: SEC Callable Bonds.

問題 #100
Which of the following is the primary risk of using asset allocation models without periodic rebalancing?

A. Inflation
B. Interest rate risk
C. Marketability
D. Overweighting

答案：D

解題說明：
Step by Step Explanation:
* Rebalancing: Ensures that a portfolio remains aligned with its target allocation. Without rebalancing, outperforming assets can become overweighted, increasing exposure to specific risks.
* Incorrect Options:
* Inflation: Impacts purchasing power but isn't tied to rebalancing.
* Marketability: Refers to liquidity and isn't linked to allocation models.
* Interest Rate Risk: Relates to fixed-income investments and isn't directly addressed by allocation models.
References:
* SEC Investor Bulletin on Asset Allocation: SEC Asset Allocation.

問題 #101
A customer owns 100 shares of ABC with a current market value of $5.00 per share. The company undergoes a 1-for-2 reverse split of the stock. Which of the following statements is true of the customer's holdings and the price of the stock?

A. The customer will have 1,000 shares at $0.50 per share.
B. The customer will have 100 shares at $5.00 per share.
C. The customer will have 200 shares at $2.50 per share.
D. The customer will have 50 shares at $10.00 per share.

答案：D

解題說明：
Step by Step Explanation:
* Reverse Split Calculation: A 1-for-2 reverse split reduces the number of shares by half while doubling the price per share.
* Pre-Split Holdings: 100 shares at $5.00 = $500.
* Post-Split Holdings: 50 shares at $10.00 = $500.
* Incorrect Options: The total value remains unchanged; only the number of shares and price per share adjust.
:
FINRA Corporate Actions Guidance: FINRA Reverse Splits.

問題 #102
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